Answer:

No. For FY 2013 and FY 2014 SSO grant funds, a state does not need to be certified to receive the apportioned funding. However, if a state is not certified, the state must submit a Certification Work Plan (CWP) and have it approved by FTA before applying for and receiving grant funds. FTA developed a recommended CWP template to support this process.

Answer:

Each State should work with its Regional Office on the exact terms of the grant, and how it will be administered and amended.

Answer:

SSO Formula Grant Program funds may be used to develop or carry out SSO programs under MAP-21. Funds may be used for operational and administrative expenses, including training, travel and equipment. States must follow the guidance provided in the Federal Register notice, Frequently Asked Questions (FAQs), CWP Template, and other guidance on the SSO Program webpage. While the responses below are intended to clarify common questions about eligible activities, FTA will review each proposed grant activity during the grant application process and will make specific eligibility determinations at that time.
States must comply with 49 C.F.R. Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments, and 2 C.F.R. Part 225 (PDF). Specific questions should be directed to the appropriate regional office.

Answer:

Match can be calculated by using the Federal Share (award) divided by the percentage of Total Project Cost minus Federal Share. A sample is as follows:
With a match of 20%, and Federal share of 80%, a $250,000 Federal grant:
$250,000 divided by 80% = $312,500
$312,500 minus $250,000 = $62,500
The 20% local share is $62,500.

Answer:

States were required to submit information for FTA’s certification process completed in October 2013. If a State was not certified based upon the information submitted, the CWP is the next step States must take to identify the necessary action(s) to fill these gaps and build a MAP-21-compliant SSO program. The recommendations provided in the October 2013 gap assessment should be incorporated into the CWP.

Answer:

FTA appreciates that CWP approval is on the critical path to receiving grant funding. We will work with each State to turn around their submittals as quickly as possible. To expedite this process, it is important that States carefully review the CWP template to ensure that all relevant information is provided. Time spent following up with a State for additional information will extend the review and approval time for that State.

Answer:

SSO Formula Grant Program funds are available for the year of apportionment plus two additional years.
Any FY 2013 funds that remain unobligated at the close of business on September 30, 2015 will revert to FTA for reapportionment under the SSO Formula Grant Program. Any FY 2014 funds that remain unobligated at the close of business on September 30, 2016 will revert to FTA for reapportionment under the SSO Formula Grant Program.

Answer:

For fiscal year (FY) 2013, more than $21 million is available for States to develop or carry out their SSO Programs consistent with MAP-21 requirements. For fiscal year (FY) 2014, $22,293,250 is available for States to develop or carry out their SSO Programs consistent with MAP-21 requirements. Please see Table 13 on the list of Current Apportionments on the FTA Current Apportionments for the amount apportioned to each State.

Answer:

No. In fact, SSO Formula Grant Program funds cannot be used to cover expenses incurred by the SSO agency prior to the effective date of their apportionment, which, in this case, is March 10, 2014.
Also, SSO Formula Grant Program funds must be used to develop and carry out a MAP-21 compliant program, not to implement minimum 49 CFR Part 659 requirements.
Further, due to the requirement for legal and financial independence, among other things, specified in 49 U.S.C. 5329(e)(3) and (4), FTA's SSO grant funds cannot be used for the direct benefit of a RTA, and an SSO agency cannot participate in FTA's SSO Formula Grant Program while receiving money from a RTA in its jurisdiction.

Answer:

Please coordinate with your Regional Office regarding the exact circumstances of your State. In most cases the Regional Office will be expecting a designation letter from the Governor to accompany the grant application.

Answer:

No. We appreciate that several States are still working to identify the source of their local matching funds; however, a State cannot apply for a grant under FTA's MAP-21 SSO program while, at the same time, receiving funding from the rail transit agency. However, no State or any other agency should deprive a SSOA of the funds it needs to ensure the safety of public transportation during this transition period. FTA therefore expects a clear transition plan for the SSOA to attain financial independence.

Answer:

States will submit a schedule and budget as part of the grant application. In order for the grant to remain active, States must demonstrate adequate progress toward their objectives, based on the schedule and budget submitted.

Answer:

Once the SSO Formula Grant is active, States must submit several types of reports, including a Federal Financial Report and Milestone Progress Report. These reports are required quarterly and should demonstrate progress toward milestones. Please see the most recent version of FTA Circular 5010.1 or contact your regional office for details.
States should note that all project expenditures, whether paid for with Federal award money or local matching funds, must comply with Federal requirements, including Buy America, civil rights, economic development, etc.

Answer:

Any State that was not certified in October 2013 must submit a Certification Work Plan (CWP) to FTA. FTA must approve that CWP prior to the State submitting a grant application.
A CWP outlines a transition plan for a State to achieve certification. The plan should identify gaps or deficiencies in a State’s authority to develop and carry out its SSO program and tactical steps the State plans to take to meet the Moving Ahead for Progress in the 21st Century Act (MAP-21) statutory requirements under 49 U.S.C. § 5329(e) under a State-specified timeline. Approved CWPs are intended to provide more certainty that the transition plan will help reach certification. This is a State’s opportunity to receive reasonable assurance that its anticipated SSO program will be MAP-21 compliant and use the available funding for eligible activities that meaningfully and effectively enhance its SSO program. Additional information on the CWP is provided below.
Once the CWP is completed and approved by FTA, the SSO agency must file an electronic grant application with its FTA Regional Office using FTA's Transportation Electronic Award Management (TEAM) system. As part of this process, the State must submit documentation, among other things, evidencing its formal designation of the intended recipient of the FTA SSO grant program funds and the source of its 20 percent local match. The State-designated entity, which may or may not be the SSO agency, must also have the required documents, including the signed Certifications and Assurances on file with the Regional Office. Contact your Regional Office for more information.
States are reminded that grant applications must be in “submitted” status in TEAM by June 30, 2014 to allow time to make awards by FY 2014. For more information, please see the March 10, 2014 Dear Colleague Letter.

Answer:

The SSO apportionment notice is an official announcement from the Federal Transit Administration (FTA) regarding the apportionment of FY 2013 and FY 2014 SSO Formula Grant Program funds. This notice responds to public comments on the May 13, 2013 SSO Illustrative Apportionment, describes the final formula used to apportion funds, and identifies grant requirements and next steps to apply for this grant program.
SSO Formula Grant Program funds must be used to develop or carry out SSO programs in accordance with the Moving Ahead for Progress in the 21st Century Act (MAP-21).

Answer:

Other eligible activities may include office supplies; personal protective equipment; technical engineering and inspection tools; uniforms; vehicle operational expenses; furniture; course registration and fees; conferences, workshops, and seminars; and travel, per diem, mileage, and lodging. Please see Appendix B of 2 C.F.R. Part 225 (PDF) and consult with your FTA regional office.

Answer:

States that must continue to meet 49 CFR Part 659 requirements may use existing resources to do so. However, each State is responsible for identifying an independent local match in order to receive funding under FTA’s SSO Formula Grant Program, which cannot include funding received from the RTA. FTA will not award a grant until this match is identified and the SSO agency is no longer dependent upon funds received from the RTA.

Answer:

State funds or in-kind contributions from the State can count toward the State’s local match. At the time of application, you must certify that your State has funds or approved in-kind resources to serve as the local match. See FTA’s Annual Certifications and Assurances and the FTA Master Agreement that all applicants for grant funds must submit for details.
For States that oversee multi-State rail transit systems, funds spent by partner States may be used as part of the local share as long as those funds meet all requirements of the grant program. As part of the grant application and award process, these States will need to show evidence of agreement regarding how the local share will be met amongst the States.
Additionally, MAP-21 requires SSO Programs to be financially independent from the rail transit systems they oversee and restricts the type of funding that can be used as the State’s local match. As such, States that currently rely upon fees, assessments, or funding from rail transit systems in their jurisdictions will be unable to use those funds for any SSO Formula Grant Program activities. In addition, the State may not use other Federal funds as all or a part of its local match. FTA will work with each State on an individual basis to identify permissible local share sources.

Answer:

All training supported by the FTA grant must be related to developing or carrying out a State’s SSO program under MAP-21, and each State should clearly demonstrate how each training course proposed in its grant does this. FTA will approve the training activities through the grant application process.
FTA encourages each SSO Agency (SSOA) to develop and implement a training plan that identifies skill gaps and appropriate training to fill those gaps. In particular, FTA encourages States to focus training activities on Safety Management System (SMS) training, which will be offered by FTA, and technical training related to the operating conditions of the rail transit systems the State oversees.
Eligible training may be offered by the US Department of Transportation’s Transportation Safety Institute, the National Transit Institute, post-secondary institutions, non-profit organizations, industry organizations, or other third-party providers. The training program does not have a post-secondary degree-seeking purpose, and as noted above, all training funded through this grant must be related to developing or carrying out a State’s SSO program under MAP-21. Thus, FTA does not anticipate that such degrees will be a typical result of training funded by the grant.
FTA is developing an interim safety certification training program, as required under 49 U.S.C. 5329(c), that may provide further guidance on eligible training activities. Once established, this interim program will become the basis for determining eligible training activities in future funding years. FTA expects to publish a proposed interim program for comment in Spring 2014.

Answer:

A State can receive funds once the grant is awarded. States will work with the FTA regional offices to develop their grant applications. Please refer to FTA’s cash management procedures in the most recent version of FTA Circular 5010.1 or consult your FTA regional office for additional information.