FTA Program and
Oversight Updates
Bruce Robinson
Deputy Associate Administrator
Office of Program Management
August 12, 2014
PROGRAM UPDATES
• MAP-21 Program Changes
• Program Guidance Status
• GROW AMERICA Proposed Changes
• Reauthorization Status
2
Moving Ahead for Progress in the
21st Century Act (MAP-21)
• Signed into law by President Obama on
July 6, 2012
• Extends current law (SAFETEA-LU) through
September 30, 2012
• Went into full effect October 1, 2012
• Authorized programs for two years, through
September 30, 2014
3
MAP-21 Authorized Funding
FY 2013 Authorized Funding = $10.578 Billion
Bus and Bus Facilities Formula
Grants, $422
State of Good Repair Grants,
$2,136
Rural Formula Grants, $600
Growing States and High Density
States Formula , $519
New Starts/Core Capacity,
$1,907
National Transit Institute , $5
National Transit Database , $4
Enhanced Mobility of Seniors and
Individuals with Disabilities, $255
Planning , $127
Urbanized Area Formula Grants,
$4,398
Administrative Expenses, $104
Research, TCRP, Bus Testing, $80
Technical Assistance/Human
Resources, $12
TOD Pilot, $10
4
Highlights of Program Changes
New
Repealed
• Safety Authority
(5329)
• Clean Fuels Grants
(5308)
• State of Good Repair
Grants (5337)
• Job Access and
Reverse Commute
(5316) [ JARC ]
• Asset Management
(5326)
• Bus and Bus Facilities
Formula Grants
(5339)
• Public Transportation
Emergency Relief
(5324)
• TOD Planning Pilot
Grants (20005(b) of
MAP-21)
• New Freedom
Program (5317)
• Paul S. Sarbanes
Transit in the Parks
(5320)
Consolidated
Modified
• Urbanized Area
Formula Grants
(5307) [ JARC ]
• Fixed Guideway
Capital Investment
Grants (5309)
• Enhanced Mobility of
Seniors and
Individuals with
Disabilities (5310)
[New Freedom]
• Metropolitan and
Statewide Planning
(5303 & 5304)
• Rural Area Formula
Grants (5311)[ JARC]
• Research,
Development,
Demonstration, and
Deployment (5312)
• Alternatives Analysis
(5339)
• Technical Assistance
and Standards (5314)
• Over-the-Road Bus
(Sec. 3038 – TEA-21)
• Human Resources
and Training (5322)
5
What MAP-21 Means for FTA Grantees
• Steady and predictable funding
• Consolidates certain transit programs to
improve their efficiency
• Targeted funding increases particularly for
improving the state of good repair
• New reporting requirements
• Requires performance measures for SGR,
planning, and safety
6
New
Safety Program
• FTA granted new Public Transportation Safety
Authority
• Provides additional authority to set minimum
safety standards, conduct investigations, audits,
and examinations
• Overhauls State Safety Oversight
• New safety requirements for all recipients
7
New
State of Good Repair (SGR) Grants
• Provides formula based funding to maintain public
transportation systems in a “state of good repair”
• Funding limited to fixed guideway investments
(essentially replaces 5309 Fixed Guideway program)
• Defines eligible recapitalization and restoration
activities
• New formula comprises: (1) former Fixed Guideway
formula; (2) new service-based formula; (3) new
formula for buses on HOV lanes
• Funding: $2.1 billion (FY 2013) authorized
8
New
Transit Asset Management Provisions
• FTA must define “state of good repair” and
develop performance measures based on that
definition
• Establishes National Transit Asset Management
system
• All transit agencies must develop their own
asset management plan; covers all transit
modes
9
New
Bus and Bus Facilities
Formula Program
• Provides capital funding to replace, rehabilitate,
and purchase buses and related equipment,
and to construct bus related facilities
• Replaces discretionary bus program
• Funding: $420 million (FY 2013) authorized
10
New
Public Transportation
Emergency Relief
• Assists States & public transportation systems
with emergency related expenses
• Pays for protecting, repairing, or replacing
equipment and facilities that are danger of
failure or have suffered serious damage as a
result of an emergency
• Funding: As appropriated by Congress
11
New
TOD Planning Pilot
• Creates a discretionary pilot program for
Transit Oriented Development planning grants
• Eligible projects are related to fixed guideway
or core capacity projects as defined in section
5309
• Funding: $10 million (FY 2013) authorized
12
Consolidated
Urbanized Area Formula Grants
• Funds capital, planning, plus JARC-eligible
activities
• Creates new discretionary ferries grants
• New takedown for safety oversight
• Funding: $4.8 billion (FY 2013) authorized
(including funds from the 5340 formula)
13
Consolidated
Enhanced Mobility of Seniors and
Individuals with Disabilities
• Consolidates current 5310 and New Freedom
program eligibilities into single formula
program
• Requires FTA to establish performance
measures
• Funding: $255 million (FY 2013) authorized
14
Consolidated
Rural Area Formula Grants
• Provides funding to States for the purpose of
supporting public transportation in rural areas
• Incorporates JARC-eligible activities
• Establishes $5 million discretionary and $25 million
formula Tribal grant program
• Establishes $20 million Appalachian Development
Public Transportation formula tier
• Funding: $630 million (FY 2013) authorized (including
funds from the 5340 formula)
15
Modified
Fixed Guideway
Capital Investment Grants
• Modifies New Starts and Small Starts project
approvals by consolidating phases and
permitting streamlined review in certain
circumstances
• Core Capacity: New eligibility for projects
that expand the core capacity of major transit
corridors
• Funding: $1.9 billion (FY 2013) General Fund
Authorization
16
Modified
Metropolitan and Statewide
Planning Program
• Requires MPOs that serve TMAs to include
transit agency officials in their governing
structures
• Requires states, transit agencies, and MPOs to
establish performance targets; and establishes a
national performance measurement system
• Funding: $127 million (FY 2013) authorized
17
Modified
Research, Development,
Demonstration, and Deployment
• Separates research from technical assistance, training
and workforce development
• Creates a competitive deployment program
dedicated to the acquisition of low or no emission
vehicles and related equipment, and related facilities
• Funding: $70 million (FY 2013) General Fund
Authorization
18
Modified
Technical Assistance and Standards
• Provides competitive funding for technical
assistance activities
• Allows FTA to development voluntary
standards and best practices
• Funding: $7 million (FY 2013) General Fund
authorization
19
Modified
Human Resources and Training
• Provides competitive grant program for
workforce development
• Funding: $5 million/year General Fund
authorization
• Continues the National Transit Institute, but
only through a competitive selection process
– Funded with separate $5 million/year Trust Fund
authorization
20
Other Notable Provisions
• Buy America: Requires Annual Report to Congress
on any transit waivers
• Veterans Preference: Includes preference language
for transit construction projects
• Privatization: Includes several provisions for
promoting private sector participation
• Bus Testing: Establishes performance standards and
“Pass/Fail” requirements for new model buses
– Including safety performance standards
21
Program Guidance Status
9030.1E (5307 Urbanized Area Formula
Program)
Final published January 16, 2014
9070.1G (5310 Enhanced Mobility of
Seniors and Individuals with Disabilities
Program)
Final published June 6, 2014
9040.1G (5311 Formula Program for Rural
Areas)
Finalizing edits
5300.1 (5337 State of Good Repair
Program)
Finalizing edits
5100.1 (5339 Bus and Bus Facilities
Program)
Published for comment – July 30, 2014
Comments due – September 29, 2014
22
GROW AMERICA Act
• A four-year, $302 billion surface transportation
authorization to replace MAP-21, which expires
September 30, 2014.
• Invests $72 billion in public transportation over 4 years—
nearly a 70% increase over MAP-21.
• Builds on MAP-21 priorities and strengthens commitment
to safety, state-of-good-repair, efficiency, performance, and
underserved populations.
• Addresses the challenges of a nation expected to grow by
100 million residents by 2050.
23
FTA’s Reauthorization Priorities
• Significant “bump” in funding with new
opportunities to modernize, expand bus and bus
facilities, and grow bus rapid transit (BRT).
• Increases our commitment to drive down $86
billion transit maintenance backlog and address
state-of-good-repair needs among bus and rail
systems.
• Streamlines and accelerates regional transportation
investments through better coordination among
federal, state, and planning stakeholders.
24
FTA’s Reauthorization Priorities
• Creates new ladders of opportunity for the
American workforce by enhancing access to
training in high-tech, operations, and construction
jobs within the transit industry.
• Protects American jobs and domestic
manufacturing by strengthening Buy America
requirements over the four year GROW
AMERICA Act period.
25
Highlights of Program Changes
New
Modified
•Fixing and Accelerating
Surface Transportation
Program (5602)
•Rapid Growth Area
Transit Program
(5341)
•Local Hiring
Provisions
• Bus and Bus Facilities (5339)
• State of Good Repair (5337)
• Human Resources and
Training (Workforce
Development) (5322)
• Metropolitan Transportation
Planning (5303)
• Enhanced Mobility of Seniors
and Individuals with
Disabilities (5310)
Repealed or
Consolidated
•No MAP-21
programs are
repealed or
consolidated in
the proposed
GROW AMERICA
Act
• Formula Grants for Rural
Areas (5311)
• Public Transportation Safety
(5329)
26
Program Funding Levels Over Time
TRANSIT FORMULA GRANTS (TF)
FY 2015
GROW AMERICA
FY 2014 Enacted President's Budget TOTAL (FY 15-18)
$8,595,000,000
$13,914,400,000
$57,036,400,000
10,000,000
128,800,000
4,458,650,000
258,300,000
607,800,000
3,000,000
5,000,000
3,850,000
2,165,900,000
427,800,000
525,900,000
105,933,000
10,234,449
131,819,706
4,563,182,694
264,355,823
622,049,823
3,070,335
5,117,225
3,940,263
5,719,000,000
1,939,000,000
538,229,684
114,400,000
42,500,791
547,410,195
18,949,620,707
1,097,800,755
2,583,198,107
12,750,237
21,250,396
16,362,805
23,216,000,000
7,822,005,339
2,235,116,626
492,400,000
1,942,938,000
2,500,000,000
10,775,000,000
48,000,000
60,000,000
251,000,000
2,000,000
20,000,000
80,000,000
0
25,000,000
25,000,000
FAST (TF)
NA
500,000,000
2,000,000,000
RAPID GROWTH AREA TRANSIT PROGRAM (TF)
NA
500,000,000
2,175,000,000
$10,841,871,000
$17,649,400,000
$72,337,400,000
Transit Oriented Development
Planning Programs
Urbanized Area Formula Grants
Enhanced Mobility of Seniors and Individuals with Disabilities
Formula Grants for Rural Areas
Bus Testing Facility
National Transit Institute /Public Transit Institute
National Transit Database
State of Good Repair Grants
Bus and Bus Facilities Grants
Growing States and High Density States Formula
Administrative Expenses 1/
CAPITAL INVESTMENT GRANTS (GF/TF) 2/
TRANSIT RESEARCH AND TRAINING (GF/TF)
Workforce Development
EMERGENCY RELIEF PROGRAM 3/ (TF)
TOTAL
1/Administrative Expenses under Transit Formula Grants account in FY 2015. Was previously funded from General Fund.
2/ FY 2014 enacted level assumes using at least $190 million of prior year balances to fully-fund President’s request of $2.132 billion.
3/Represents balance of funds available after sequestration and transfers.
27
New
Fixing and Accelerating Surface
Transportation (FAST)
• $500 million in competitively awarded grants to state
and local governments with innovative approaches to
solving transportation problems.
• Foster more effective, coordinated investments in
regional transportation priorities.
• Modeled after Dept. of Education’s “Race to the Top.”
• Jointly administered with $500 million requested
annually by FHWA ($1 billion annual total program).
28
New
Rapid Growth Area Transit
• $500 million competitive discretionary grant program would
quickly establish bus rapid transit (BRT) service in areas with
rapidly growing populations.
• Streamlined project evaluation criteria related to population and
ridership growth and financial capacity to operate current and
expanded service.
• Encourages multi-modal solutions to better integrate BRT with
other existing, planned transit options.
• 50% local match to encourage early and sound local financial
commitment.
• Up to 80% federal share by using FHWA Funds as local match.
29
New
Local Hiring
• The proposal supports local hiring as an effective way
to help men and women obtain local jobs and job
training on federally funded transportation projects.
• Opportunities targeted in areas with high
unemployment.
• Ensures local workers are given preference to
participate on local transportation construction
projects.
• Creates ladders of economic opportunity in underserved areas.
30
Modified
Bus and Bus Facilities
• Current program funds construction, replacement
and rehabilitation of buses and related facilities.
• Proposal increases funding by 354% from FY2014FY2015, dramatically improving the ability to
modernize the nation’s bus fleets. (70% formula/30%
discretionary)
• Transit agencies may also compete for discretionary
resources for large capital bus projects.
• Addresses funding shortfall and technical deficiencies
in bus programs under MAP-21.
31
Modified
Enhanced Mobility of Seniors and
Individuals with Disabilities
• Current program funds mobility programs for
seniors and persons with disabilities.
• Grants could now be made directly to local
government entities, removing the requirement to
pass through a designated recipient first.
• The change would streamline the grant awards
process, alleviate delays, and serve riders more
efficiently.
32
Modified
Rural Areas Program
• Current program provides capital, planning,
and operating assistance for transit service
implemented by states in rural areas.
• Proposal increases funding to tribes in
recognition of serious need for additional
transit service to low-income, rural residents.
• Each eligible recipient of tribal formula funds
will receive a minimum of $20,000 annually.
33
Modified
Public Transportation Safety
• FTA continues to implement safety authority
authorized by MAP-21. Proposed changes:
– An opt-out provision from the State Safety Oversight
program in states with fixed-guideway transit systems
below a certain size or ridership level.
– FTA may impose civil penalties for violations of safety
regulations, and criminal penalties for willful violations.
– The Secretary would gain emergency authority to issue
orders to restrict or prohibit an unsafe condition or
practice on transit systems.
–
34
Modified
Workforce Development
(Transit Research & Training)
• Current program supports innovative efforts to train a
new generation of transportation workers.
• Proposal creates:
– New Ladders of Opportunity program that expands support
for transit-focused workforce development programs that
give priority to minorities, women, individuals with disabilities,
veterans, and other groups.
– Public Transit Institute to deliver training courses to emerging
transit workforce.
– Authority would allow recipients under sections 5307, 5337,
and 5339 to use a percentage of funds for these activities.
35
Modified
High-Performing MPOs
• Current Metropolitan Planning Organization
(MPO) framework does not emphasize or
reward regionally coordinated investments and
planning.
• Incentivizes MPOs in large urban areas to
coordinate and increase their technical capacity
to undertake a performance-based approach
linking investments to improvements in safety,
infrastructure, congestion, and other factors.
36
Modified
State of Good Repair
• Current program provides two years of
predictable, needs-based formula funds for
transit’s state-of-good-repair needs.
• Proposal significantly increases program funds
by 164% percent from FY2014 to FY2015 to
address an $86 billion maintenance backlog
that continues to grow.
• This level of investment is necessary to tackle
the U.S. infrastructure deficit.
37
Modified
Buy America
• Current program ensures that certain content and
final assembly of bus and rail systems are
domestically sourced—preserving and creating
American manufacturing jobs.
• Proposal gradually increases the domestic content
requirement for manufacturing rolling stock
components and subcomponents to 100% by 2018.
• The change would strengthen domestic
manufacturing and innovation.
38
Paying for the
GROW AMERICA Act
• The President proposes renaming the Highway Trust
Fund to a new Transportation Trust Fund (TTF), which
will fund highways, transit, rail, and TIGER projects.
• The TTF will provide a source of predictable funding
for surface transportation at an appropriate level for
the next four years.
• The TTF will be capitalized with revenues from progrowth tax reform will supplement the gas tax as a
means of financing long-term critical investments in
our nation’s transportation infrastructure.
39
Current Status
• MAP-21 extended to May 31, 2015 at the
2014 authorized levels.
• FY 2015 Apportionments will depend on
Appropriations.
40
Oversight Overview
• FTA’s Program Oversight
• State Management Review
• Tips on Preparing for Oversight Reviews
Overview of Program Oversight
• Oversight reviews confirm and promote grantee
compliance with grant requirements.
• Fiduciary responsibility to prevent and identify
improper payments and to ensure every dollar
counts toward improving public transit.
• Oversight responsibilities are shared by HQ and
regional offices.
• Contractor support for reviews.
Types of Oversight Reviews
• Broad Scope: Triennial Review, State Management Review
• Specialized: Financial Management Oversight Review,
Procurement System Review, Americans with Disabilities Act
Compliance Review, Disadvantaged Business Enterprise
Compliance Review, Title VI of the Civil Rights Act Compliance
Review, Equal Employment Opportunity Compliance Review,
Cost Allocation Plan Review
• Single Audits
FY15 State Management Reviews
• Workshops anticipated in first or second
quarter of FY15.
• 18 SMRs will be conducted, with site-visits
commencing after the conclusion of
workshops.
State Management Review
Top Findings
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
SMP out of date/incomplete
Inadequate oversight system
Insufficient oversight of Title VI
Inactive grants/untimely grant closeouts
Incorrect FFR reporting
No verification that excluded parties are not participating
Insufficient oversight of procurement
Late/incomplete progress reports
Insufficient oversight of ADA service provision/training requirements
Insufficient oversight of route deviation service
Ways to Prepare
• Understand and review program requirements, i.e. regulations,
circulars, grantee certifications and assurances.
• Attend FTA oversight workshops and NTD training.
• Maintain file in each Review Area with documentation that is
responsive to review questions and documentation requests.
• Incorporate federal requirements into your agency’s policies
and processes.
• Incorporate routine reviews of compliance with federal
requirements into your agency’s internal assessments
Ways to Prepare
• Study previous review results for your agency and verify
corrective actions remain fully implemented.
• Ask your regional office for technical assistance well in
advance of review.
• Include agency staff in review process to gain information
from review process.
• Close grants, when possible.
• Substantively respond to findings by due date or request an
extension in advance.
FY15 SMR Grantees
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
Rhode Island Public Transit Authority
Vermont Agency of Transportation
New Jersey Transit Corporation
New York State Dept. of Transportation
District Dept. Of Transportation, Department of Public Works
Georgia Dept. of Human Resources
Georgia Dept. Of Transportation-Office of Intermodal Programs
Ohio Dept. Of Transportation
Wisconsin Dept. Of Transportation/Bureau of Transit
Louisiana Dept. Of Transportation & Development
New Mexico Dept. of Transportation
Nebraska Dept. of Roads
Colorado Dept. of Transportation
Wyoming Dept. Of Transportation
Arizona Dept. Of Transportation
Nevada Dept. of Transportation
Idaho Transportation Department
Oregon Dept. of Transportation